| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 161 |
|
CLASSIC GLOBAL FINANCE & CAPITAL LTD.
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
|
IMPOSED PENALTY RS.1,00,00,000
09-MAR-2016
|
SAT: SAT VIDE ITS ORDER DATED 10/02/2017 QUASHED AND SET ASIDED IMPUGNED ORDER DATED 09/03/2016 AND RESTORED TO THE FILE OF AO TO PASS FRESH ORDER ON MERITS AND IN ACCORDANCE WITH LAW. NO COSTS
|
| 162 |
|
|
CLASSIC LEASING & FINANCE LTD.
(PAN:AABCC0800E)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,50,000
25-JAN-2016
|
SAT: SAT VIDE ITS ORDER DATED 05/08/2016 DISMISS THE APPEAL FOR WANT OF PROSECUTION AS APPELLANT HAS ALREADY PAID THE PENALTY IMPOSED UNDER IMPUGNED ORDER DATED 25/01/2016
|
| 163 |
|
|
CLASSIC PRESS (INTERNATIONAL) LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
20-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
AS PER SEBI NOTICE DATED 28/12/2022 NOTICEE IS UNTRACEABLE
SEBI VIDE ITS NOTICE DATED 17/01/2023 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 24/02/2023 DIRECTED ALL THE BANKS TO REMIT RS.1,64,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF CLASSIC PRESS (INTERNATIONAL) LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 164 |
|
|
COMPLEX TRADING CO.LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
12-AUG-2014
|
|
| 165 |
|
|
COMPUTECH INTERNATIONAL LTD.
(CIN:L30009WB1987PLC042782
PAN:AABCC2624A)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.3,00,000
12-AUG-2014
|
SEBI VIDE ITS NOTICE DATED 23/06/2015 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
|
| 166 |
|
|
CONCEPTS,M/S
(PAN:ADAPJ7255R)
|
|
|
|
SEEMA JAIN
PAN:ADAPJ7255R
|
|
DID NOT HOLD CERTIFICATE REQUIRED FOR RESEARCH ANALYST
DID NOT CARRY OUT ANNUAL AUDIT FROM A MEMBER OF INSTITUTE ICAI AND ICSI
DID NOT MAINTAIN RECORDS OF RESEARCH RECOMMENDATIONS
DID NOT MAINTAIN RECORD OF PUBLIC APPEARANCES
DID NOT MAINTAIN RATIONALES OF ALL THE RECOMMENDATIONS AND DID NOT CAPTURE SUPPORTING DATA IN RATIONALE
DID NOT MAINTAIN RATIONALES OF ALL THE RECOMMENDATIONS
TRADED DURING RESTRICTED/PROHIBITED PERIOD
PROVIDED RECOMMENDATIONS WITHOUT ANY ADEQUATE DOCUMENTARY BASIS AND FAILED TO COMPLY WITH IN RESPECT OF CONTENTS OF RESEARCH REPORT
OBTAINED REGISTRATION FROM SEBI ON THE BASIS OF FALSE INFORMATION
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS IN STIPULATED TIME
DID NOT MAKE DISCLOSURE OF DATA OF INVESTOR COMPLAINTS AND THE DETAILS ABOUT ITS REDRESSAL ON WEBSITE
|
IMPOSED PENALTY RS.5,00,000 ALONG WITH OTHER ENTITIES/PERSONS
23-MAY-2025
|
|
| 167 |
|
|
CORE HEALTHCARE LTD.
|
|
|
|
KAMLESH SHAH
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.1,00,000
31-MAR-2005
|
SAT: IMPUGNED ORDER MODIFIED BY REDUCING PENALTY AMOUNT TO RS.50,000 FROM RS.1,00,000
|
| 168 |
|
|
CORONET INDUSTRIES LTD.
(PAN:AABCT6058R)
|
|
|
DELAY IN REGISTRATION FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,20,000
12-AUG-2014
|
|
| 169 |
|
|
CPR CAPITAL SERVICES LTD.
(PAN:AAACC3235A)
|
|
|
|
ANITA MANN
PAN:AGPPM5665E
|
|
|
VIJAY PAL SINGH
PAN:AKSPS2600N
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS SECURITIES TO ITS RELATED ENTITIES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 25-SEP-2018 TILL FURTHER ORDERS
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 25-SEP-2018 TILL FURTHER ORDERS
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-SEP-2018 TILL FURTHER ORDERS
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
25-SEP-2018
|
|
| 170 |
|
|
CPR COMMODITIES SERVICES PVT.LTD.
(PAN:AACCP5984B)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT MAINTAIN SEGREGATION BETWEEN OWN FUNDS AND CLIENTS FUNDS & SECURITIES
MISUSED CLIENTS' FUNDS AND/OR SECURITIES AND/OR ACCOUNTS
DID NOT SETTLE CLIENT’S FUNDS AND/OR SECURITIES
TRANSFERRED CLIENTS SECURITIES TO ITS RELATED ENTITIES
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 25-SEP-2018 TO 24-SEP-2025
CEASED AND DESIST FROM UNDERTAKING ANY ACTIVITY IN SECURITIES MARKET, DIRECTLY OR INDIRECTLY, IN ANY MANNER WHATSOEVER FROM 25-SEP-2018 TO 24-SEP-2025
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS WITHOUT PRIOR PERMISSION OF SEBI
DIRECTED TO UTILIZE ASSETS OF THE ENTITIES ONLY FOR THE PURPOSE OF PAYMENT OF MONEY AND/OR DELIVERY OF SECURITIES, AS THE CASE MAY BE, TO CLIENTS/INVESTORS UNDER THE SUPERVISION OF CONCERNED STOCK EXCHANGE(S)
DIRECTED DEPOSITORIES TO ENSURE THAT NO DEBITS AND/OR CREDITS MADE IN DEMAT ACCOUNTS, HELD JOINTLY OR SEVERALLY, OF ENTITIES AND PERSONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
25-SEP-2018
|
SEBI VIDE ITS ORDER DATED 25/10/2019 CONFIRMED ITS DIRECTIONS ISSUED VIDE ITS INTERIM ORDER DATED 25/09/2018
SEBI VIDE ITS ORDER DATED 20/09/2023 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, EITHER DIRECTLY OR INDIRECTLY, OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER WHATSOEVER FOR SEVEN YEARS
|
| 171 |
|
|
CREDENCE SOUND & VISION LTD.
|
|
|
|
ASHOK KUMAR BALKRISHAN UPADHAYA
|
|
|
NARENDRA SHAMLADAS MEHTA
|
|
|
SHIVRAM MOTILALA MEENA
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 29-JUN-2016 TILL COMPANY RESOLVES ALL THE INVESTOR GRIEVANCE
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 29-JUN-2016 TILL COMPANY RESOLVES ALL THE INVESTOR GRIEVANCE
29-JUN-2016
|
|
| 172 |
|
|
CREDENCE SOUND & VISION LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.1,00,000
27-DEC-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
SEBI VIDE ITS NOTICE DATED 29/07/2022 DIRECTED TO PAY RS.9,37,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 19/08/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 14/11/2022 DIRECTED ALL THE BANKS TO REMIT RS.9,61,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF CREDENCE SOUND & VISION LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SAT: SAT VIDE ITS ORDER DATED 22/11/2022 DIRECTED RESPONDENT TO FILE REJOINDER WITHIN TWO WEEKS
SAT: SAT VIDE ITS ORDER DATED 05/12/2022 CONDONED THE DELAY OF 1687 DAYS IN FILING OF APPEAL AND SET ASIDE IMPUGNED ORDER DATED 27/12/2017. MATTER REMITTED BACK TO AO TO PASS A FRESH ORDER ACCORDANCE WITH LAW
SEBI VIDE ITS ORDER DATED 13/02/2023 MODIFIED ITS ORDER DATED 27/12/2017 BY REDUCING PENALTY TO RS.1 LAC FROM RS.6 LAC U/S 15HB OF SEBI ACT, 1992
SEBI VIDE ITS NOTICE DATED 22/02/2023 CANCELLED RECOVERY CERTIFICATE AS PER SAT ORDER DATED 05/12/2022
SEBI VIDE ITS NOTICE DATED 22/02/2023 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 19/08/2022
|
| 173 |
|
|
CRESCENT EXPORTS LTD.
(PAN:AABCC2316F)
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
IMPOSED PENALTY RS.5,00,000
31-JAN-2018
|
SEBI VIDE ITS ORDER DATED 16/08/2018 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS NOTICE DATED 30/01/2024 ALLOWED THE APPEAL AND DIRECTED ALL THE BANKS IN INDIA/NSDL/CDSL TO RELEASE ALL THE BANK ACCOUNTS INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUND FOLIOS OF THE DEFAULTERS WHICH WERE ATTACHED PURSUANT TO THE NOTICE OF ATTACHMENT DATED 16/08/2018
SEBI VIDE ITS ORDER DATED 30/01/2024 COMPLETED OF RECOVERY CERTIFICATE PAYMENT OF AMOUNT DUE UNDER CERTIFICATE NO.1617 OF 2018 DATED 30/07/2018
|
| 174 |
|
|
CREST ANIMATION STUDIOS LTD.
(PAN:AAACC6134C)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
|
IMPOSED PENALTY RS.2,50,000
11-SEP-2017
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 175 |
|
|
CRYSTAL SOFTWARE SOLUTIONS LTD.
(CIN:U32300MH1984PLC034032
PAN:AABCC8793J)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
29-JUN-2018
|
SEBI VIDE ITS NOTICE DATED 17/12/2021 DIRECTED TO PAY RS.2,84,310.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SEBI VIDE ITS NOTICE DATED 22/11/2022 DIRECTED ALL THE BANKS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS, DEMAT ACCOUNTS AND MUTUAL FUNDS FOLIOS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 22/12/2022 DIRECTED ALL THE BANKS TO REMIT RS.3,11,000.00 TO THE EXTENT LYING IN THE ACCOUNT OF CRYSTAL SOFTWARE SOLUTIONS LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
|
| 176 |
|
|
CURE SPECTS LASERS LTD.
|
|
|
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
IMPOSED PENALTY RS.2,00,000
31-MAR-2014
|
INCLUDED IN SEBI LIST DATED 31/12/2017, AS DEFAULTER IN PAYMENT OF PENALTY IMPOSED BY SEBI
|
| 177 |
|
|
CVIL INFRA LTD.
|
|
|
|
AJAY TIWARI
|
|
|
RAHUL BHATNAGAR
|
|
|
RAJESH KUMAR
|
|
|
RAMESH CHANDRA DUBEY
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT REGISTER FOR SEBI COMPLAINTS REDRESSAL SYSTEM (SCORES)
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 21-SEP-2017 TILL RESOLVE ALL INVESTOR GRIEVANCE PENDING
21-SEP-2017
|
|
| 178 |
|
|
D.R.SOFTECH & INDUSTRIES LTD.
|
|
|
|
DHIRUBHAI R.DESAI
|
|
|
MANJULABEN D.DESAI
|
|
|
VASU PUSHPAN
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT FURNISH ACTION TAKEN REPORT IN CONNECTION WITH REDRESSAL OF INVESTOR’S GRIEVANCES
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 13-DEC-2010 TILL ALL PENDING INVESTOR GRIEVANCES ARE RESOLVED
13-DEC-2010
|
|
| 179 |
|
|
D.S.CAPITAL VENTURE PVT.LTD.
(PAN:AADCH8426M)
|
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
|
CANCELLED REGISTRATION AS INVESTMENT ADVISOR FROM 30-JAN-2023
30-JAN-2023
|
|
| 180 |
|
|
D.S.CAPITAL VENTURE PVT.LTD.
(PAN:AADCH8426M)
|
|
|
|
ABHISHEK TIWARI
DIN:08251068
PAN:APQPT5692C
|
|
|
DEEPALI SHARMA
PAN:CTGPS9075L
|
|
|
PIYUSH KUMAR SHARMA
PAN:CAVPS0431C
|
|
|
SANJAY SHESHMANI DWIVEDI (AKA.SANJAY KUMAR DWIVEDI)
PAN:AJEPD3015F
|
|
DID NOT REDRESS INVESTOR COMPLAINTS
DID NOT PROVIDE NECESSARY INFORMATION/DOCUMENTS TO INVESTIGATING AUTHORITY OF SEBI
DID NOT INFORM SEBI ABOUT CHANGE OF ADDRESS
DID NOT OBTAIN APPROVAL FROM SEBI FOR UPDATION/CHANGE OF DIRECTORS
PROMISED ASSURED/GUARANTEE RETURNS/PROFITS TO CLIENTS
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 29-DEC-2022 TO 28-DEC-2027
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
DIRECTED TO RESOLVE ALL PENDING COMPLAINTS
DIRECTED TO FURNISH REPORT TO SEBI DULY CERTIFIED BY CHARTERED ACCOUNTANT RESOLVED ALL COMPLAINTS
29-DEC-2022
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 9 of 48
|
